- First Horizon Bank (Memphis, TN)
- …Business + Minimum 5 yrs. experience in broker-dealer Compliance or equivalent in legal, compliance or audit + Series 7 and 63 licenses required + Series ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all… more
- Equitable (Minneapolis, MN)
- …**Qualifications** **Required Experience:** + Bachelors degree + 1 Years experience in Compliance roles + FINRA Series 7, 65 or 66 registrations ... Branch Compliance Manager ( 240000MA ) **Primary Location** :...and Investment/ Advisory ProductsLI-E **Preferred Qualifications** **:** + FINRA Series 51 preferred + Ability to make sound business… more
- Scotiabank (New York, NY)
- …designations use, and email signatures. + Approve all posts and communications to ensure compliance with Series 24, CIRO and any other governing bodies. + ... business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures. **What You'll… more
- Defense Security Service (Boyers, PA)
- …ie for positions with no IOR: General Inspection Investigation Enforcement and Compliance Series 1801 for OPM qualification standards, competencies and ... seeking an enthusiastic individual to join our team. Inspectors perform very in-depth compliance inspections on four major DCSA contractors. If you're looking for a… more
- RTX Corporation (Mckinney, TX)
- …You Will Do : + You will lead, conduct, and plan internal QMS audits for compliance to the AS9100 series of standards in support of the Raytheon Quality ... Management System. The focus of this role will be the Texas sites and will also include audits at other Raytheon locations. + You will perform all formal responsibilities of a Senior Manger and Lead Auditor such as; + Audit team selection + Audit planning +… more
- Morgan Stanley (Gilbert, AZ)
- …employer committed to diversifying its workforce (M/F/Disability/Vet). Keywords: Supervisor, manager, compliance , reviewer, financial, SEC, FINRA, Series 9 / 10, ... is an important part of our culture. The Licensed Compliance Reviewer or "Principal Reviewer" role is primarily responsible...people manager or supervisor * Active Licenses required: o Series 7 o Series 66 o … more
- Citigroup (New York, NY)
- …+ Project and traffic coordination with the analyst teams, publications staff, and Legal/ Compliance + Series 16 license required + Appropriately assess risk when ... of the sub-function/job family. **Responsibilities:** + Vetting research for compliance with FINRA/NYSE regulations and Citi internal research content guidelines… more
- TTEC (Columbus, OH)
- …Federal Compliance Standards, Statues, regulations that govern cybersecurity. The Federal compliance requirements are a series of frameworks such as DISA ... compliance for cloud services providers. NIST SP 800-53 Series Risk Management (National Institute of Standards and Technology Special Publication),… more
- The City of Houston (Houston, TX)
- …daily inspections of runways, taxiways, ramps and other aeronautical areas to ensure compliance with applicable 150 Series Advisory Circulars (ACs), federal and ... responsibilities include, but are not limited to: + Ensures compliance with Title 14, Code Federal Regulations (CFR), Part...MS Office suite is a plus. Knowledge of 150 Series ACs. GENERAL INFORMATION SELECTION/SKILLS TESTS REQUIRED The selection… more
- University of Colorado (Aurora, CO)
- …Family Medicine Louisville Medical Director Open Rank -Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** ... Family Medicine - Louisville Medical Director** **Open Rank -Senior Instructor Series ** **Position #00825042 - Requisition #34358** **Job Summary:** **Examples of… more
- University of Colorado (Aurora, CO)
- …Primary Care Lone Tree Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School of ... Primary Care - Lone Tree Clinic Open Rank - Senior Instructor Series ** **Position #00829087: - Requisition #35712:** **Job Summary:** **1.0 cFTE** **Examples of… more
- University of Colorado (Aurora, CO)
- …Family Medicine Boulder Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Boulder Clinic** **Open Rank - Senior Instructor Series ** **Position #00829518: - Requisition #35707:** **Job Summary:** **1.0 FTE** **Examples… more
- University of Colorado (Aurora, CO)
- …Family Medicine Centerfield Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... Family Medicine - Centerfield Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829204 - Requisition #35687:** **Job Summary:** **Examples of… more
- University of Colorado (Aurora, CO)
- …for Dependency, Addiction, and Rehabilitation (CeDAR) (Open Rank Professor Series )** **Description** **University of Colorado Anschutz Medical Campus** **School of ... for Dependency, Addiction, and Rehabilitation** **(CeDAR) (Open Rank - Professor Series )** **Position #00826737 - Requisition #34694** **This position may be… more
- University of Colorado (Aurora, CO)
- **Open Rank Professor Series ** Open Rank Professor Series - 23487 Faculty **Description** **University of Colorado | CU Anschutz Medical Campus** **School of ... Medicine Department of Emergency Medicine** **Open Rank Professor Series ** * Applications are accepted electronically ONLY at www.cu.edu/cu-careers * The University… more
- University of Colorado (Aurora, CO)
- …Family Medicine Westminster Clinic Open Rank - Senior Instructor Series ** **Description** **University of Colorado Anschutz Medical Campus** **Department:** **School ... UCHealth Family Medicine - Westminster Clinic** **Open Rank - Senior Instructor Series ** **Position #: 00829203 - Requisition #35634:** **Job Summary:** **1.0 FTE**… more
- Sony Pictures Entertainment (Culver City, CA)
- Production Coordinator - Series Culver City, California, United States **SUMMARY:** The Production Coordinator supports the Production Manager and may supervise one ... studio based in Culver City, California, creating both feature animation and animated series with artists from around the world. We pride ourselves on empowering… more
- City of Missoula, MT (Missoula, MT)
- Utility and Transportation Engineer Series Print (https://www.governmentjobs.com/careers/missoulacity/jobs/newprint/4717886) Apply Utility and Transportation ... Engineer Series Salary Depends on Qualifications Location Missoula, Montana Job...Under the mentorship of experienced professionals, you will ensure compliance with City, State, and Federal standards while collaborating… more
- Insight Global (Tampa, FL)
- …https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements -3 years of experience within compliance in a financial environment - Series 7 & 24 ... local to the Tampa area is looking for 2 Compliance Associates to sit within the securities brokerage and...maintain positivity in the workplace -Familiarity with Ad Review - Series 53 & 4 registrations null We are a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …range of accounts, including trust, estate, and entity accounts. + **Ethics & Compliance :** Maintain a high level of integrity and adhere to Raymond James' Code ... provided that an exemption or grandfathering cannot be applied Series 7 and 63/65 or 66 Required - must...- must be registered in all 50 states + Series 9, 10 and 24 preferred. **Education** Bachelor's: Accounting,… more
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